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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Page viii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Page xiii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/26399.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Outcomes Committee on Defense Research at Historically Black Colleges and Universities and Other Minority Institutions Board on Higher Education and Workforce Policy and Global Affairs PREPUBLICATION COPY—Uncorrected Proofs

NATIONAL ACADEMIES PRESS 500 Fifth Street, NW, Washington, DC 20001 This activity was supported by contracts between the National Academy of Sciences and the Department of Defense (W911NF-18-D-0002/W911NF20F0016). Any opinions, findings, conclusions, or recommendations expressed in this publication do not necessarily reflect the views of any organization or agency that provided support for the project. International Standard Book Number-13: 978-0-309-XXXXX-X International Standard Book Number-10: 0-309-XXXXX-X Digital Object Identifier: https://doi.org/10.17226/26399 This publication is available from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu. Copyright 2022 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and National Academies Press and the graphical logos for each are all trademarks of the National Academy of Sciences. All rights reserved. Printed in the United States of America. Suggested citation: National Academies of Sciences, Engineering, and Medicine. 2022. Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions: Transitioning from Good Intentions to Measurable Actions. Washington, DC: The National Academies Press. https://doi.org/10.17226/26399. PREPUBLICATION COPY—Uncorrected Proofs

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. PREPUBLICATION COPY—Uncorrected Proofs

Consensus Study Reports published by the National Academies of Sciences, Engineering, and Medicine document the evidence-based consensus on the study’s statement of task by an authoring committee of experts. Reports typically include findings, conclusions, and recommendations based on information gathered by the committee and the committee’s deliberations. Each report has been subjected to a rigorous and independent peer-review process and it represents the position of the National Academies on the statement of task. Proceedings published by the National Academies of Sciences, Engineering, and Medicine chronicle the presentations and discussions at a workshop, symposium, or other event convened by the National Academies. The statements and opinions contained in proceedings are those of the participants and are not endorsed by other participants, the planning committee, or the National Academies. Rapid Expert Consultations published by the National Academies of Sciences, Engineering, and Medicine are authored by subject-matter experts on narrowly focused topics that can be supported by a body of evidence. The discussions contained in rapid expert consultations are considered those of the authors and do not contain policy recommendations. Rapid expert consultations are reviewed by the institution before release. For information about other products and activities of the National Academies, please visit www.nationalacademies.org/about/whatwedo. PREPUBLICATION COPY—Uncorrected Proofs

COMMITTEE ON DEFENSE RESEARCH AT HISTORICALLY BLACK COLLEGES AND UNIVERSITIES AND OTHER MINORITY INSTITUTIONS EUGENE M. DELOATCH (Chair), Morgan State University, Baltimore, MD ALIECIA R. MCCLAIN (Vice Chair), Norfolk State University, Norfolk, VA FARRUKH S. ALVI, Florida A&M University-Florida State University, Tallahassee, FL CARRIE L. BILLY, American Indian Higher Education Consortium, Alexandria, VA ROBIN N. COGER, North Carolina A&T State University, Greensboro, NC ALICIA DIAZ, Hispanic Association of Colleges and Universities, Washington, DC (resigned from committee November 2020) LESTER A. FOSTER, III, Electronic Warfare Associates, Inc., Herndon, VA VICE ADMIRAL PAUL G. GAFFNEY, II (NAE), U.S. Navy (Ret.), Monmouth University (Emeritus), Columbia, SC MARK L. MCKELVIN, JR., The Aerospace Corporation, El Segundo, CA RICHARD M. MURRAY (NAE), California Institute of Technology, Pasadena, CA GENERAL ELLEN M. PAWLIKOWSKI (NAE), U.S. Air Force (Ret.), Independent Consultant, Macon, GA DEBORAH A. SANTIAGO, Excelencia in Education, Washington, DC DEEPAK K. TOSH, University of Texas at El Paso CHAD WOMACK, United Negro College Fund, Washington, DC PROJECT STAFF LEIGH MILES JACKSON, Study Director MARIE HARTON, Program Officer PRIYANKA NALAMADA, Associate Program Officer AUSTEN APPLEGATE, Research Associate MARQUITA WHITING, Senior Program Assistant PAULA WHITACRE, Consultant JENNIFER SAUNDERS, Consultant v PREPUBLICATION COPY—Uncorrected Proofs

BOARD ON HIGHER EDUCATION AND WORKFORCE KUMBLE R. SUBBASWAMY (Chair), University of Massachusetts, Amherst, MA JAIME CURTIS-FISK, The Dow Chemical Company, Midland, MI MARIELENA DESANCTIS, Broward College, Fort Lauderdale, FL JOAN FERRINI-MUNDY, University of Maine, Orono GABRIELA GONZALEZ (NAS), Louisiana State University, Baton Rouge TASHA R. INNISS, Spelman College, Atlanta, GA DOUGLAS S. MASSEY (NAS), Princeton University, Princeton, NJ RICHARD K. MILLER (NAE), Olin College of Engineering, Needham, MA KATE STOLL, Massachusetts Institute of Technology, Washington Office, Washington, DC MEGHNA TARE, University of Texas at Arlington MARY WOOLLEY (NAM), Research! America, Arlington, VA LEIGH MILES JACKSON, Acting Director vi PREPUBLICATION COPY—Uncorrected Proofs

Preface For decades, Congress has recognized the need to develop a diverse national science, technology, engineering, and mathematics (STEM) workforce. While federal agencies provide significant opportunities for underrepresented minorities in these fields, the national STEM workforce is still less racially and ethnically diverse than the U.S. general population. As one of the largest federal STEM funding agencies and employers, the U.S. Department of Defense (DoD) plays an essential role in the U.S. science and technology ecosystem and can greatly expand opportunities to diversify the STEM workforce. It has been long recognized that Historically Black Colleges and Universities (HBCUs) and other minority institutions (MIs) represent a valuable resource for the DoD’s government and extramural workforce and S&T enterprise. However, DoD underperforms when it comes to its overall investments in research and research capacity at these institutions. This report examines how to advance the research capacity of HBCU/MIs in defense research and addresses key questions around why DoD has not yet harnessed these institutions as vital resources in developing its research portfolio. The committee relied heavily on the testimony of representatives of federal agencies, HBCU/MIs, and other institutions as we addressed our task, and we thank them all for taking the time to share their expertise and perspectives. Through a series of public workshops, the committee heard from representatives from within the military departments, defense agencies, and the Office of the Secretary of Defense. Select leaders from a range of institutions of higher education were asked for opinions on the best practices and challenges in competing for DoD- research funding. The committee also commissioned a non-profit research organization, the American Institutes of Research, to conduct focus groups with administrators and faculty at HBCUs and other MIs to gain candid observations around challenges to expanding research capacity and working with DoD. We also analyzed longitudinal data on DoD investment in HBCU/MI programs with the support of the non-profit Institute for Defense Analyses’ Science vii PREPUBLICATION COPY—Uncorrected Proofs

and Technology Policy Institute. These data-gathering efforts were invaluable and formed the basis of the committee’s conclusions and recommendations. We also thank the members of our committee, whose hard work and steadfast focus on this important issue have resulted in a report that we hope will greatly strengthen and open opportunities for defense research at HBCU/MIs. Committee members have contributed in immeasurable ways to this important effort, and we cannot thank them enough for their time and attention, particularly given all of the challenges we have all faced during the pandemic. Finally, we cannot say enough about the dedication and hard work of the National Academies of Sciences, Engineering, and Medicine staff. We are all indebted to study director, Leigh Miles Jackson, whose hard work, dedication, and vision has supported the committee throughout the rigorous National Academies’ study process. Priyanka Nalamada, associate program officer, provided invaluable research and writing support to the committee. Additional thanks go to Austen Applegate, research associate, and Marie Harton, program officer, for their significant contributions to the study. As the report title suggests, it is time to move from well-intentioned statements to actionable outcomes. The recommendations of this report are offered to guide DoD, Congress, HBCU/MIs, and partnering entities in supporting and strengthening the role of these institutions in defense research. A strategic commitment on the part of DoD is needed to advance the research capacity of HBCU/MIs. This will ultimately support DoD as it works to address national defense goals and will diversify the STEM workforce in the long term. Drs. Eugene M. Deloatch (Chair) and Aliecia R. McClain (Vice Chair) Committee on Defense Research at Historically Black Colleges and Universities and Other Minority Institutions viii PREPUBLICATION COPY—Uncorrected Proofs

Acknowledgment of Reviewers This Consensus Report was reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise. The purpose of this independent review is to provide candid and critical comments that will assist the National Academies of Sciences, Engineering, and Medicine in making each published report as sound as possible and to ensure that it meets the institutional standards for quality, objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We thank the following individuals for their review of this report: Charles Bolden, Jr. (NAE), The Charles F. Bolden Group LLC; Gwendolyn Boyd, Alabama State University (ret.); Frank Doyle, III (NAE/ NAM), Harvard University; Earnestine Easter, National Science Foundation; Cecil Haney, U.S. Navy (ret.); Christopher Jarzysnki (NAS), University of Maryland; Bernadette Johnson, Massachusetts Institute of Technology; Tommy Marks, U.S. Department of Commerce; Steven Ramberg, U.S. Navy (ret.); Arun Seraphin, National Defense Industrial Association. Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the findings of this report nor did they see the final draft before its release. The review of this report was overseen by Lester Lyles (NAE), independent consultant. He was responsible for making certain that an independent examination of this report was carried out in accordance with the standards of the National Academies and that all review comments were carefully considered. Responsibility for the final content rests entirely with the authoring committee and the National Academies. ix PREPUBLICATION COPY—Uncorrected Proofs

Other Acknowledgments This report reflects contributions from a number of individuals and groups. The committee takes this opportunity to recognize those who so generously gave their time and expertise to inform its deliberations. To begin, the committee would like to thank the U.S. Department of Defense and Evelyn Kent for their sponsorship, guidance, and support of this important national issue. The committee greatly benefited from the opportunity for discussion with individuals who attended and presented at the open session meetings (see Appendix C), as well as with the leadership, faculty, and staff at the 13 Historically Black Colleges and Universities and minority institutions that graciously participated in our focus groups (see Appendix K). The committee thanks these individuals for their time and the candid perspectives they provided. The committee could not have done its work without the support and guidance provided by the National Academies project staff: Leigh Miles Jackson, study director; Marie Harton, program officer; Priyanka Nalamada, associate program officer; Austen Applegate, research associate; and Marquita Whiting, senior program assistant. We appreciate Bardia Massoudkhan for his financial assistance on this project, and gratefully acknowledge Tom Rudin of the National Academies’ Board on Higher Education and Workforce for his guidance. Many other staff within the National Academies provided support to this project in various ways. The committee would like to thank Marilyn Baker, William “Bruno” Millonig, Steven Darbes, Julie Eubank, Constance F. Citro, Anne-Marie Mazza, Amy Shifflette, Karen Autrey, Holly Sten, Clair Woolley, and Anne Marie Houppert for their expertise and support throughout the life cycle of this research study and report. This committee is grateful to the research and writing consultants that generously contributed to this body of work, Victor McCrary (University of the District Columbia) and John Rosenthall (Tougaloo Center for Research and Development Foundation). We thank Brian L. Zuckerman, Pavel Panko, and Bill Brykczynsk at the Institute for Defense Analyses’ Science and Technology Policy Institute for their invaluable expertise and support in the committee’s data collection and x PREPUBLICATION COPY—Uncorrected Proofs

analysis needs, and Montrischa Essoka, Helen Muhisani, Nara Nayar, Courtney Tanenbaum, and their team at the American Institutes for Research for their management and support of the committee’s HBCU/MI focus group data collection efforts. In addition to the contributions above, a great number of stakeholders offered resources, expertise, and insight to support the committee’s work. These include: Jody Chase (National Science Foundation); Alexandra McCargo, Precision Collective, LLC; Jonathan Gordon (RTI International); Jennifer C. Shieh, Marcus Harris, and Allen Gutierrez (U.S. Small Business Administration), Anissa C. Lumpkin (Air Force Research Laboratory / Small Business; Susan Fitzgerald and Dennis Gephardt (Moody’s Corporation); Joseph P. Boutte (Dun & Bradstreet Corporation); Lora G. Weiss (Pennsylvania State University), Julia D. Erdley (Pennsylvania State University), Darold Hamlin (Emerging Technology Consortium), Victor Santos (Thurgood Marshall College Fund), Lamont Hames (LMH Strategies), Aprille J. Ericsson (NASA Goddard Space Flight Center), Wesley L. Harris (Massachusetts Institute of Technology), Denise N. Baken (Shield Analysis Technology, LLC), Francisco C. Rodriguez (Los Angeles Community College District), Van Freeman (Aerospace Industries Association), Kiya Jones (Ron Brown Scholar Program), Tommy L. Marks (MBDA Federal Procurement Center), Gerald Hector (University of Central Florida), and the numerous stakeholder representatives from DoD agencies and related research entities who submitted resources and updates on recent HBCU/MI initiatives, including the Office of Naval Research, Air Force Research Laboratory, and Army Research Laboratory. Finally, the committee is indebted to Paula Whitacre (Full Circle Communications) and Jennifer Saunders for their invaluable commissioned work on the committee’s interim and final reports. xi PREPUBLICATION COPY—Uncorrected Proofs

Table of Contents Summary ................................................................................................................................................ 1 1 Introduction ....................................................................................................................................... 21 2 The Research Spectrum of HBCU and Other MIs ........................................................................... 37 3 Department of Defense (DoD) Investments in STEM Research at Institutions of Higher Education (IHE) .................................................................................................................................................... 65 4 DoD Investments and Capacity Strengthening at Institutions of Higher Education ......................... 95 5 Promising Practices and Challenges for Successfully Competing for DoD Research Funding and Workforce Development Support....................................................................................................... 141 6 Conclusion ....................................................................................................................................... 173 Appendixes A Statement of Task ........................................................................................................................... 191 B Committee Biographies .................................................................................................................. 194 C Open Session Agendas ................................................................................................................... 201 D Interim List of Two- and Four-Year HBCUs and Other Minority Institutions ............................. 207 E DoD HBCU/MI “Roadside Assistance”..........................................................................................263 F Map of Minority Institutions and DoD-Sponsored Research Laboratories .................................... 265 G Summary of Data-Processing Steps for Findings on DoD Funding of Institutions of Higher Education for Fiscal Years 2010–2020 .............................................................................................. 268 H Data to Support Committee’s R&D-Capable Institutions Analysis ............................................... 280 I Overhead Rates ................................................................................................................................ 303 J Average Square Footage of Science and Engineering Facilities at DoD-Funded Academic Institutions for FY 2019 ..................................................................................................................... 312 K Executive Summary: Building Capacity for Defense Research at Historically Black Colleges and Universities and Other Minority Institutions ..................................................................................... 314 L 2019 National Science Foundation Data on Doctorate Recipients from U.S. Universities…………………………………………………………………………………………..317 xii PREPUBLICATION COPY—Uncorrected Proofs

Acronyms DoD Department of Defense FY Fiscal year HBCUs Historically Black College(s) and Universities HSIs Hispanic-Serving Institution(s) MIs Minority Institution(s) NASEM National Academies of Sciences, Engineering, and Medicine NDAA National Defense Authorization Act NSF National Science Foundation R&D Research and Development S&T Science and Technology SBIR Small Business Innovation Research STEM Science, technology, engineering, and mathematics TCUs Tribal College(s) and Universities xiii PREPUBLICATION COPY—Uncorrected Proofs

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Historically Black Colleges and Universities (HBCUs) and other minority institutions (MIs) represent a valuable resource to expand the Department of Defense's (DoD) government and extramural workforce and science and technology enterprise. The more than 400 public and private HBCUs, Tribal Colleges and Universities, Hispanic-Serving Institutions, and other two- and four-year MIs are positioned to make strong and uniquely important contributions to the defense research enterprise, offering DoD an opportunity to widen its talent pool and diversify STEM research and ultimately strengthen its ability to support national security.

Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions examines the status of DoD research at HBCUs and MIs, including the methods and means necessary to advance research capacity at these institutions in order to comprehensively address the national security and defense needs of the United States. This report offers recommendations to guide DoD, Congress, HBCU/MIs, and partnering entities in supporting and strengthening the role of these institutions in defense research. A strategic commitment will translate into increased opportunities for HBCU/MIs to diversify the future American academic, industrial, and government STEM workforce upon which DoD will depend.

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